Gibson Dunn offices in Washington, D.C. Photo: Diego M. Radzinschi/ALM Gibson Dunn Builds Case Against SEC's Broker-Dealer Enforcement
"These enforcement actions therefore present an issue—what it means to be a 'dealer' under the Exchange Act—of critical importance to our nation's financial industry and securities markets," argued Gibson, Dunn & Crutcher partner Helgi Walker.
July 06, 2023 at 03:29 PM
6 minute read
The original version of this story was published on National Law Journal
A spike in federal agency action against penny stock traders has elicited a strong response from attorneys at Gibson, Dunn & Crutcher, as the firm recently sued the Securities and Exchange Commission over its failure to respond to a FOIA request for communications related to broker-dealer-related enforcement actions over the last five years.
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